guidance for shutdown furloughs september 2015

7/23/2019 Guidance for Shutdown Furloughs September 2015

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Guidance forShutdown Furloughs

September 2015


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Overview

The U.S. Office of Personnel Management (OPM) has prepared human resources guidance for

agencies and employees on shutdown furloughs (also called emergency furloughs). A shutdown

furlough occurs when there is a lapse in annual appropriations. Shutdown furloughs can occur at

the beginning of a fiscal year, if no funds have been appropriated for that year, or uponexpiration of a continuing resolution, if a new continuing resolution or appropriations law is not

passed.

In a shutdown furlough, an affected agency would have to shut down any activities funded by

annual appropriations that are not excepted by law. Typically, an agency will have very little to

no lead time to plan and implement a shutdown furlough.

NOTE: This guidance applies to activities that are funded by annual appropriations. Some

agency functions have alternative funding sources and, as a result, are not directly affected by a

lapse in annual appropriations. Employees performing those functions will generally continue tobe governed by the normal pay, leave, and other civil service rules. Agencies should consult with

their legal counsel if they have further questions concerning this distinction. Employees should

consult with their Human Resources office.

Table of Contents

A. General ...................................................................................................................................... 1

B. Employee Coverage .................................................................................................................. 1

C. Working during Furlough ......................................................................................................... 4

D. Pay............................................................................................................................................. 6

E. Performance Awards and Within-Grade Increases ................................................................... 7

F.

Leave and Other Time Off ........................................................................................................ 8

G. Holidays .................................................................................................................................. 13

H. Benefits ................................................................................................................................... 15

I. Employee Assistance .............................................................................................................. 19

J. Service Credit for Various Purposes ....................................................................................... 20

K. Federal Employees on Military Duty ...................................................................................... 21

L. Retirement ............................................................................................................................... 22

M. Retirement Services: Government Closure ............................................................................. 22

N. Payments upon Separation from Federal Service ................................................................... 24

O. Benefits under the Federal Employees Compensation Act (FECA) ..................................... 24

P.

Procedures ............................................................................................................................... 25Q. Labor Management Relations Implications ............................................................................ 33

SAMPLE SHUTDOWN FURLOUGH DECISION NOTICE DUE TO A LAPSE OF

APPROPRIATIONS ..................................................................................................................... 36

SAMPLE NOTICE OF FURLOUGH DURING HOLIDAY TO EXCEPTED EMPLOYEE DUE

TO A LAPSE OF APPROPRIATIONS ....................................................................................... 39

SAMPLE NOTICE OF FURLOUGH DURING INTERMITTENT ABSENCES TO

EXCEPTED EMPLOYEE ............................................................................................................ 42


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NOTE: Certain Qs and As in this document, Guidance for Shutdown Furloughs, assume

coverage under provisions of law or regulation specified in the given Q and A. To the extent that

a particular employee is not covered by those specified provisions, the guidance in the Q and A

may not be applicable.

A. General

1. What is a furlough?

A.A furlough is the placing of an employee in a temporary nonduty, nonpay status because

of lack of work or funds, or other nondisciplinary reasons.

2. What is a shutdown furlough and why is a shutdown furlough necessary?

A.In the event that funds are not available through an appropriations law or continuingresolution, a shutdown furlough occurs. A shutdown furlough is necessary when an agency

no longer has the necessary funds to operate and must shut down those activities which are

not excepted pursuant to the Antideficiency Act (31 U.S.C. 1341-1342). (See guidance from

the Office of Management and Budget (OMB) and the Department of Justice (DOJ) for

further information on appropriation matters.)

B. Employee Coverage

1. Who are excepted employees?

A.In the context of shutdown furloughs, the term excepted is used to refer to employees

who are funded through annual appropriations who are nonetheless excepted from the

furlough because they are performing work that, by law, may continue to be performed

during a lapse in appropriations. Excepted employees include employees who are performing

emergency work involving the safety of human life or the protection of property or

performing certain other types of excepted work. Agency legal counsels, working with senior

agency managers, determine which employees are designated to be handling excepted and

non-excepted functions. Seehttps://www.opm.gov/policy-data-oversight/pay-

leave/furlough-guidance#url=Shutdown-Furloughfor copies of OMB and DOJ issuances,

which provide guidance on the application of these criteria.

(Note: Presidential appointees who are not covered by the leave system in 5 U.S.C. chapter

63 are not excepted as discussed above. However, they are not subject to furlough because

their salary is an obligation incurred by the year, without consideration of hours of duty

required, so they cannot be placed in a nonduty, nonpay status.)
https://www.opm.gov/policy-data-oversight/pay-leave/furlough-guidance#url=Shutdown-Furloughhttps://www.opm.gov/policy-data-oversight/pay-leave/furlough-guidance#url=Shutdown-Furloughhttps://www.opm.gov/policy-data-oversight/pay-leave/furlough-guidance#url=Shutdown-Furloughhttps://www.opm.gov/policy-data-oversight/pay-leave/furlough-guidance#url=Shutdown-Furloughhttps://www.opm.gov/policy-data-oversight/pay-leave/furlough-guidance#url=Shutdown-Furloughhttps://www.opm.gov/policy-data-oversight/pay-leave/furlough-guidance#url=Shutdown-Furlough


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1a. To the extent that agencies need employees to be available to help process Form 931s,

Request for Wage and Separation Information,or other requests from State

unemployment offices, can agencies except employees who are furloughed due to the

lapse in annual appropriations to assist with this?

A.Yes. Agencies can except employees who have previously been furloughed due to the

lapse in annual appropriations in order to come back into work to assist with processing

Form 931s and other related unemployment issues. It is up to the discretion of the agency to

identify which employees and the number of employees that are needed to be called back

into work for this purpose.

2. Are all employees who qualify as emergency employees for the purpose of weather

emergencies considered to be excepted employees for the purpose of a shutdown

furlough?

A.Not necessarily. Emergency employees are those employees who must report for workin emergency situationse.g., severe weather conditions, air pollution, power failures,

interruption of public transportation, and other situations in which significant numbers of

employees are prevented from reporting for work or which require agencies to close all or

part of their activities. Emergency employees are not automatically deemed excepted

employees for purposes of shutdown furloughs. Each agency must determine which

employees are excepted employees based on the law.

3. Who are exempt employees?

A.Employees are exempt from furlough if they are not affected by a lapse inappropriations. This includes employees who are not funded by annually appropriated funds.

Employees performing those functions will generally continue to be governed by the normal

pay, leave, and other civil service rules.

4. What about employees who are neither excepted nor exempt?

A.Employees who are funded through annual appropriations but are not designated as excepted

are barred from working during a shutdown, except to perform minimal activities as necessary to

execute an orderly suspension of agency operations related to non-excepted activities. These

employees will be furloughed.

5. How will employees be notified whether they have been designated to be handling

excepted functions or not?

A.Each agency will determine the method and timing of notifying employees of whether

they have been designated as an excepted employee.


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6. Why are leave-exempt Presidential appointees not subject to furlough?

A.Individuals appointed by the President, with or without Senate confirmation, who are not

covered by the leave system in 5 U.S.C. chapter 63, or an equivalent formal leave system, are

not subject to furlough. An exemption from the chapter 63 leave system may be based on

5 U.S.C. 6301(2)(x) or (xi). (See also OPM regulations at 5 CFR 630.211.) These leave-exempt Presidential appointees are not subject to furloughs because they are considered to be

entitled to the pay of their offices solely by virtue of their status as an officer, rather than by

virtue of the hours they work. In other words, their compensation is attached to their office,

and, by necessary implication of the Presidents authority to appoint such employees, their

service under such an appointment creates budgetary obligations without the need for

additional statutory authorization. Based on opinions of the Office of Legal Counsel,

Department of Justice, the Antideficiency Act prohibition on creating a budgetary obligation

before an appropriation is made is not applicable if the obligation is otherwise authorized by

law. (See 31 U.S.C. 1341 and 36 Op. O.L.C. 1, April 8, 2011, at

http://www.justice.gov/sites/default/files/olc/opinions/2011/04/31/wh-offrs-exempt-from-

leave_0.pdf.)

A leave-exempt Presidential appointee cannot be placed on nonduty status. Thus, the

appointees pay cannot be reduced based on placement in nonduty status, including via the

mechanism of a furlough. As explained above, a leave-exempt Presidential appointee is

entitled to the established pay of the position based on the holding of the office, not on the

hours of duty.

Presidential appointees who are covered by the chapter 63 leave system are not considered to

be entitled to pay based solely on their status as officers; thus, these individuals are subject to

furlough in the same manner as other Federal employees. (See 5 U.S.C. 5508.) AnyPresidential appointee who is a member of the Senior Executive Service (SES) or in a senior

level (SL/ST) position paid under 5 U.S.C. 5376 is not exempt from the chapter 63 leave

system (unless specifically designated for exemption under 5 U.S.C. 6301(2)(xi) and 5 CFR

630.211). All SES and SL/ST employees covered by the chapter 63 leave system are subject

to furlough on the same basis as other employees. (The furlough of career SES members is

subject to the procedures in 5 CFR 359, subpart H, and the furlough of SL/ST employees is

subject to the procedures in 5 CFR 752, subpart D, or 5 CFR part 351, as applicable.)

While employees may be subject to furlough, the applicable procedures depend on the type

of employee in question. For example, all Presidential appointees are excluded from the

adverse action procedures in 5 U.S.C. chapter 75, based on 5 U.S.C. 7511(b)(1) and (3). Inaddition, Presidential appointees subject to Senate confirmation are excluded from reduction

in force procedures, based on 5 CFR 351.202(b). If a Presidential appointee is subject to

furlough but not subject to adverse action or reduction in force procedures, the agency should

follow any administrative procedures required by any applicable internal personnel policies.
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Note: A former career Senior Executive Service (SES) appointee who receives a Presidential

appointment that would normally convey an exemption from the leave system may be

eligible to elect to retain SES leave benefits under 5 U.S.C. 3392(c). If SES leave benefits are

so elected, such a Presidential appointee would be subject to furlough under 5 CFR 359,

subpart H.

C. Working during Furlough

1. May an employee volunteer to do his or her job on a nonpay basis during a shutdown

furlough?

A.No. Unless otherwise authorized by law, an agency may not accept the voluntary services

of an employee. (See 31 U.S.C. 1342.)

2. What happens to employees scheduled for training during a shutdown furlough?

A.Employees who are neither excepted nor exempt and are scheduled for training during a

shutdown furlough must be placed in a furlough status and ordered not to attend the

scheduled training.

3. May employees take other jobs while on furlough?

A.While on furlough, an individual remains an employee of the Federal Government.

Therefore, executive branch-wide standards of ethical conduct and rules regarding outside

employment continue to apply when an individual is furloughed (specifically, the executive

branch-wide standards of ethical conduct (the standards), at 5 CFR part 2635). In addition,

there are specific statutes which prohibit certain outside activities, and agency-specific

supplemental rules that require prior approval of, and sometimes prohibit, outside

employment. Therefore, before engaging in outside employment, employees should review

these regulations and then consult their agency ethics official to learn if there are any agency-

specific supplemental rules governing the employee.

4. If an employee receives a temporary appointment in another agency while furloughed,

what happens to his/her benefits (e.g., retirement, health benefits, life insurance, leave)?

A.Retirement, health benefits, and life insurance are handled as if the employee had actuallytransferred to the new agency. Leave balances are transferred as if the employee had actually

transferred. (See Comptroller General opinion B-167975, September 1, 1970.)


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5. How should an agency determine the number of furlough hours for alternative work

schedule (AWS) employees during a shutdown furlough? Can an employee reschedule a

non-workday that occurred during the furlough?

A.Employees are furloughed based on the number of hours they are scheduled to work on

the days for which there is a shutdown furlough. Each agency that has an AWS program

should have a policy specifying how flexible and compressed work schedules must be

established and when they may be changed. Normally, such schedules are established in

advance of the pay period involved. Under such a policy, an AWS non-workday scheduled to

occur during a shutdown furlough should not be changed after the pay period begins.

5a. What happens to employees on detail during a shutdown furlough?

A.Detailed employees remain officially assigned to their permanent positions during the

detail. During a shutdown furlough, each agency will determine the status of their employees

on detail within the agency or to another agency. Home and receiving agencies shouldcarefully consult about what activities are appropriate for a detailee to perform during a

funding lapse to ensure that the activities are consistent with the reasons why the agency

designated them as excepted.

6. How are personnel working for Federal agencies under mobility agreements pursuant

to the Intergovernmental Personnel Act (IPA) treated in a shutdown furlough?

A.The specific authority for furloughing personnel who are working under mobility

agreements pursuant to the IPA, either inside the Federal Government or with other

organizations, will depend upon the nature of individual agreements, the status of the

appointments, and/or the funding arrangements for the assignments. As a general rule, the

following principles are applicable in determining whether to furlough personnel on IPA

mobility assignments:

Personnel from non-Federal organizations on appointments to the Federal Government

are subject to furlough in the same manner as other employees.

Personnel on detail to Federal agencies from non-Federal organizations may continue

working, provided that the non-Federal organizations pay the total costs of the detail.

Personnel on detail to Federal agencies from non-Federal organizations that share part of

the costs of the detail may continue to work if the Federal portion of the cost was

obligated from prior appropriations at the time of the IPA mobility agreements. In the

event that a furlough takes place during a time for which no funds are appropriated, theassignment should be terminated.

Personnel on detail to Federal agencies from non-Federal organizations that do not pay or

share the costs of the detail are subject to furlough in the same manner as other

employees.

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D. Pay

1. Will excepted employees be paid for performing work during a shutdown furlough? If

so, when will excepted employees receive such payments?

A.Agencies will incur obligations to pay for services performed by excepted employeesduring a lapse in appropriations, and those employees will be paid after Congress passes and

the President signs a new appropriation or continuing resolution.

(Note: Presidential appointees who are not covered by the leave system in 5 U.S.C. chapter

63 are not subject to furlough, but are also barred from receiving pay during a lapse in

appropriations. These Presidential appointees will be paid after Congress passes and the

President signs a new appropriation or continuing resolution.)

2. Will employees who are furloughed get paid?

A.Congress will determine whether furloughed employees receive pay for the furlough

period.

3. Will employees receive a paycheck for hours worked prior to a lapse in appropriations?

A.Under Office of Management and Budget (OMB) guidance issued in 1980 (below),

employees will receive this paycheck. Although the payroll for the last pay period before the

lapse will be processed potentially during a period of furlough, the minimum number of

payroll staff necessary for this process will be excepted from furlough for the minimum time

required to issue the checks, including checks for the last pay period before the lapse. This

guidance can be found in OMBs August 28, 1980,Bulletin No. 80-14, Shutdown of Agency

Operations Upon Failure by the Congress to Enact Appropriations,paragraph 3.b.(1)

(Appropriations and funds). OMB has reviewed and concurs in this answer.

4. When an employees pay is insufficient to permit all deductions to be made because a

shutdown furlough occurs in the middle of a pay period and the employee receives a

partial paycheck, what is the order of withholding precedence?

A.Agencies will follow the guidance on the order of precedence for applying deductions

from the pay of its civilian employees when gross pay is insufficient to cover all authorized

deductions found athttps://www.chcoc.gov/content/ppm-2008-01-order-precedence-when-gross-pay-not-sufficient-permit-all-deductions.

5. May an excepted employee be permitted to earn premium pay (e.g., overtime pay,

Sunday premium pay, night pay, availability pay) during the furlough period?

A. Yes. Excepted employees who meet the conditions for overtime pay, Sunday premium
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pay, night pay, availability pay and other premium payments will be entitled to payment

in accordance with applicable rules, subject to any relevant payment limitations.

Premium pay may be earned but cannot be paid until Congress passes and the President

signs a new appropriation or continuing resolution.

E. Performance Awards and Within-Grade Increases

1. If agency performance management policies and practices require the payment of

performance awards to employees, can the payment be delayed until after the shutdown

furlough?

A.Yes. Neither law nor regulation requires agencies to pay performance awards granted

under 5 U.S.C. chapters 43 and 45 and 5 CFR 451.104(a)(3). If agency performance

management policies and practices require the payment of performance awards, agencies

may delay payment until after the furlough when funds are available.

2. Are agencies required to pay performance awards to Senior Executive Service (SES)

career appointees during a shutdown furlough?

A.No. The applicable law (5 U.S.C. 5384) and regulation (5 CFR 534.405) do not specify

when an SES performance award must be paid to a career appointee, nor do they provide a

basis to pay awards when no appropriated funds are available for that purpose. Therefore, if a

shutdown furlough intervenes, an agency may defer payment of SES performance awards

until after the furlough, when funds are available.

3.

May agencies deny or delay within-grade or step increases for General Schedule andFederal Wage System employees during a shutdown furlough?

A.It depends on how long the shutdown furlough lasts. Within-grade and step increases for

General Schedule (GS) and Federal Wage System employees are awarded on the basis of

length of service and individual performance. Such increases may not be denied or delayed

solely because of lack of funds. However, extended periods of nonpay status (e.g., because of

a furlough for lack of funds) may affect the timing of such increases. For example, a GS

employee in steps 1, 2, or 3 of the grade who is furloughed an aggregate of more than 2

workweeks during the waiting period would have his or her within-grade increase delayed by

at least a full pay period. (See 5 CFR 531.406(b).)


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F. Leave and Other Time Off

1. May an employee not excepted from the furlough take previously approved paid time

off (e.g., annual, sick, court, military leave, or leave for bone marrow/organ donor

leave, or compensatory time off, including religious compensatory time off) during a

shutdown furlough?

A.No. All paid time off during a shutdown furlough period must be canceled because the

requirement to furlough supersedes leave and other paid time off rights. The Antideficiency

Act (31 U.S.C. 1341 et seq.) does not allow authorization of any expenditure or obligation

before an appropriation is made, unless authorized by law. Paid time off creates a debt to the

Government that is not authorized by the Act. Therefore, agencies are instructed that during a

shutdown furlough, all paid time off must be canceled.

2. May an excepted employee take previously approved paid time off or be granted new

requests for paid time off during a shutdown furlough?

A.No. When an excepted employee is not working or not performing excepted activities in

compliance with the Antideficiency Act, he or she cannot be in a pay status. Excepted

employees must be either performing excepted activities or furloughed during any absence

from work. The furlough must be documented by a furlough notice. If an excepted employee

refuses to report for work after being ordered to do so, he or she will be considered to be

absent without leave (AWOL) and will be subject to any consequences that may follow from

being AWOL.

2a. Are excepted employees allowed to have intermittent unpaid absences from workduring a shutdown furlough?

A.As stated in Question F.2., excepted employees are not eligible to take any kind of paid

time off (e.g., annual leave, sick leave, compensatory time off, credit hours, or excused

absence). In addition, excepted employees may not be placed in leave without pay (LWOP)

status. (See Question F.7. for specific guidance on employees scheduled to take unscheduled

leave under the Family and Medical Leave Act.) However, if an excepted employee needs to

be absent from work for brief or intermittent periods, agencies are encouraged to explore the

use of workplace flexibilities such as alternative work schedules and telework (subject to

applicable laws, regulations, agency policies, and collective bargaining agreements) to

accommodate this employees need to be absent. If use of workplace flexibilities is notappropriate for your situation, excepted employees must be furloughed for any brief or

intermittent unpaid absence. (See Question F.2b. for guidance on employees that must be

furloughed during an approved absence from work. Also see Sample Notice of Furlough

During Intermittent Absences to Excepted Employee.)


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2b. If an agency is willing to approve brief or intermittent unpaid absences from work for

an excepted employee and use of workplace flexibilities is not appropriate, does the

excepted employee have to be placed in a furlough status for these brief or intermittent

unpaid absences?

A.Yes. When excepted employees are absent from work they must be furloughed. These

periods of time must be documented by a shutdown furlough notice with applicable appeal

rights. Any time when an excepted employee is absent from work is time the employee is in

a furlough status, and this must be properly documented by a shutdown furlough notice that

spells out whatever appeal rights are applicable.

One option would be for the agency to issue a furlough notice for the period of time when the

employee will be absent, and then recall the employee when the employee is once again

available to come to work and perform excepted activities.

Another option, which may be easier to administer for an employee who will have multiplebrief intermittent absences over a period of time, would be for the agency to issue a modified

shutdown furlough notice, which states that the employee is excepted from furlough except

for those periods of time they are not working but would otherwise be scheduled to work.

(See Sample Notice of Furlough During Intermittent Absences to Excepted Employee.) The

periods of time an employee is not working should be listed and clearly identified in the

modified shutdown furlough notice. As with any modified furlough notice, agencies should

issue such notices as soon as practicable.

The above two options are examples of two approaches to consider to ensure appropriate

procedural rights are provided to furloughed employees. If you elect to pursue an alternative

approach in providing a furlough notice to excepted employees approved to be absent from

work for brief or intermittent absences, agency officials should consult with their General

Counsel to ensure appropriate procedural rights are provided to furloughed employees.

3. May an employee work during the furlough period to accumulate religious

compensatory time off hours for religious observances?

A.An employee who is not excepted may not work during the furlough period, even to

accrue religious compensatory time. However, an excepted employee may work additional

hours for religious purposes if the employee is performing excepted activities, though the

employee may not use those hours until after the lapse in appropriations is over.

4. If an employee is scheduled to take approved unpaid leave during a shutdown furlough,

should the agency provide the employee with a furlough notice?

A.It depends. If the employee is not expected to work during the furlough period (e.g., a 1-

year period of leave without pay to accompany a military spouse overseas), then agencies are


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not required to provide the employee with a furlough notice. If, however, the employee is

scheduled to return from unpaid leave to Federal service during the furlough period, the

employee should be provided with a furlough notice (effective on the date of scheduled

return), unless the employee is expected to be at work performing an excepted activity.

5.

If an employee is scheduled to take unpaid leave under the Family and Medical LeaveAct (FMLA) during a shutdown furlough, should the agency provide the employee with

a furlough notice?

A.It depends. If the employee is not expected to work during the furlough period (e.g., an

employee who has just given birth and has requested 12 weeks of unpaid leave (leave

without pay (LWOP)) under the FMLA), the agency is not required to provide the employee

with a furlough notice. If, however, the employee is scheduled to return from LWOP to

Federal service during the furlough period, the employee should be provided with a furlough

notice (effective on the date of scheduled return), unless the employee is expected to be at

work performing an excepted activity. An employee on LWOP under FMLA during a

shutdown furlough may not later substitute paid time off for the days of LWOP.

6. Does LWOP under FMLA that is scheduled to be taken during a shutdown furlough

period count toward the employees 12-week FMLA leave entitlement?

A.No.

7. If an employee is scheduled to take paid leave or other paid time off under FMLA

during a shutdown furlough, should the employee be furloughed?

A.Yes. An employee must be placed in furlough status during any paid time off scheduled to

be taken during a lapse in appropriations. If an employee is scheduled to take paid time off

under FMLA during a shutdown furlough (either continuously or intermittently), the paid

time off must be canceled and the employee must be furloughed for any period during which

paid time off was scheduled. Thus, any days of scheduled paid time off are documented as

furlough days. Any previously scheduled days of unpaid leave under FMLA will continue to

be documented as LWOP. No days associated with a shutdown furlough period will be

counted against an employees 12-week FMLA leave entitlement.

7a. What should an agency do if an excepted employee faces FMLA-qualifying

circumstances?

A. During a lapse of appropriations, an employee must either be working (i.e., excepted from

furlough) or in a nonpay status, as referenced in Question F.7. An excepted employee may

face circumstances that would normally qualify him or her for unpaid leave under FMLA.

The employing agency should allow such an excepted employee to be placed in a furlough

status (a form of unpaid leave) for appropriate periods, consistent with his or her rights under


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FMLA. The furlough periods would not count against the limit of 12 weeks of unpaid leave

during any 12-month period.

8. Are employees who are not excepted from the furlough allowed to take paid leave or

other paid time off during periods when other employees are performing work

necessary for an orderly suspension of agency operations?

A.No. All paid leave or other paid time off is cancelled during a period when a lapse in

appropriations is in effect. There is no authority to obligate funds for paid time off during a

lapse in appropriations. Employees who are not excepted from the furlough are allowed to

perform minimal activities as necessary to execute an orderly suspension of agency

operations related to non-excepted activities. Being on paid leave is not an activity necessary

to execute an orderly suspension of agency operations. Agencies should determine on a case-

by-case basis whether it is necessary to require employees who had been scheduled to take

paid time off to report to duty to perform orderly suspension activities.

9. May an excepted employee be permitted to earn compensatory time off and credit

hours (under flexible work schedules) during the shutdown period?

A.Yes. With agency approval, excepted employees may earn compensatory time off and/or

credit hours subject to requirements found in 5 U.S.C. 5543 and 61206133; 5 CFR 550.114,

551.531, and part 610, subpart D; or other applicable authority. Each agency is responsible

for approving the number of hours an excepted employee can work related to the

performance of excepted activities. Employees will not be permitted to use earned

compensatory time off or credit hours during the shutdown period.

10.

If an employee has properly scheduled use-or-lose annual leave before the start of the

third biweekly pay period prior to the end of the leave year, but is unable to use some

or all of the scheduled leave because of the furlough, does the furlough constitute an

exigency of the public business that would permit an agency to restore the leave after

the beginning of the new leave year?

A.Employees in this situation should make every effort to reschedule use-or-lose annual

leave for use before the end of the current leave year. However, if this is not possible due to a

lapse in appropriations, agency heads (or their designees) are encouraged to use their

discretionary authority to restore any lost annual leave by determining that the employee was

prevented from using his or her leave because of an exigency of the public businessnamely, the need to furlough employees because of the lapse in appropriations.


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11.If an employee has properly scheduled use of restored annual leave that is due to

expire at the end of the leave year (because it is the end of the 2-year restoration period)

but that leave is canceled and lost due to lapse of appropriations, may the employing

agency restore that leave again?

A.Unfortunately, nounless Congress enacts legislation providing otherwise. There isnothing in existing law or regulation that allows restored annual leave to be restored a second

time. In fact, the Comptroller General has determined that unused restored annual leave may

not be restored after expiration of the 2-year period. (SeeB-188993,December 12, 1977.)

12. Does a shutdown furlough affect the accrual of annual leave and sick leave?

A. If an employee is furloughed (i.e., placed in nonpay status) for part of a biweekly pay

period, the employees leave accrual will generally not be affected for that pay period.

However, the accumulation of nonpay status hours during a leave year can affect the accrualof annual leave and sick leave over a period of time. (See 5 CFR 630.208 and Notes 1 and 2

below.) For example, when a full-time employee with an 80-hour biweekly tour of duty

accumulates a total of 80 hours of nonpay status from the beginning of the leave year (either

in one pay period, or over the course of several pay periods), the employee will not earn

annual and sick leave in the pay period in which that 80-hour accumulation is reached. If the

employee again accumulates 80 hours of nonpay status, he or she will again not earn leave in

the pay period in which that new 80-hour total is reached. At the end of the leave year, any

accumulation of nonpay status hours of less than 80 hours is zeroed out so that the

accumulation of nonpay status hours for the next leave year starts at zero.

For part-time employees, the rule blocking accrual of leave based on the accumulation of

nonpay status hours (5 CFR 630.208) does not apply. Instead, leave accrual for part-time

employees is prorated based on hours in a pay status in each pay period; thus, time in nonpay

status reduces leave accrual in each pay period containing such time (5 CFR 630.303 and

5 U.S.C. 6307).

Also, please see OPMs fact sheet on theEffect of Extended Leave Without Pay (LWOP) (or

Other Nonpay Status) on Federal Benefits and Programs,which has a section entitled,

Accrual of annual and sick leave.

Note 1: The term nonpay status refers to the period during which an employee is absentfrom his or her tour of duty established for leave usage purposes and receives no pay for such

absence. Furlough is one type of nonpay status.

Note 2: The term leave year is defined as the period beginning on the first day of the first

full biweekly pay period in a calendar year and ends on the day immediately before the first

day of the first full biweekly pay period in the following calendar year. (For example, for

employees on the standard biweekly payroll cycle, the 2015 leave year is January 11, 2015,
http://www.gao.gov/products/458670http://www.gao.gov/products/458670http://www.gao.gov/products/458670http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.gao.gov/products/458670


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through January 9, 2016.) (See fact sheet athttp://www.opm.gov/policy-data-oversight/pay-

leave/leave-administration/fact-sheets/leave-year-beginning-and-ending-dates/.)

Note 3: For full-time employees with an uncommon tour of duty under 5 CFR 630.210, the

accumulation limit used in applying 5 CFR 630.208 is the number of hours in the uncommon

tour of duty for a biweekly pay period.

13. How are employees affected if, during a shutdown furlough, their Federal office is

closed or announces a change in operating status due to an emergency, severe weather

condition, natural disaster, and other incident causing disruption of agency operations?

A. Furloughed employees will not be affected if their Federal office is closed or announces a

change in operating status during a shutdown furlough and will remain in furlough status.

Exempt employees are not affected by a shutdown furlough and will follow normal

emergency operating procedures.

Excepted employees will follow normal emergency operating procedures during a Federal

office closure or change in operating status, which may result in excepted employees being

placed in furlough status for any hours of work not performed. This is because during a

shutdown furlough, excepted employees must be either be performing excepted activities or

furloughed during any absence from work and may not be placed in an excused absence or

leave without pay (LWOP) status. Furlough of an excepted employee must be documented

by a shutdown furlough notice with applicable appeal rights. (See Sample Notice of Furlough

During Intermittent Absences to Excepted Employee.) Excepted employees who perform

work on a day their Federal office is closed during a shutdown furlough will be paid after

Congress passes and the President signs a new appropriations bill.

G. Holidays

1. Will an employee exempt from furlough be paid for a holiday that occurs during a

shutdown?

A. Employees are exempt from furlough if they are not affected by a lapse in

appropriations. As such, an exempt employee will be paid for a holiday according to the

normal rules governing holidays.

2. Will furloughed employees be paid for a holiday that occurs during a shutdown

furlough?

A. Furloughed employees will not receive pay for a holiday that occurs during a shutdown

furlough unless authorized by subsequent legislation.
http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/leave-year-beginning-and-ending-dates/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/leave-year-beginning-and-ending-dates/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/leave-year-beginning-and-ending-dates/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/leave-year-beginning-and-ending-dates/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/leave-year-beginning-and-ending-dates/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/leave-year-beginning-and-ending-dates/


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3. What is the status of an excepted employee who does not perform work on a holiday

that occurs during a shutdown furlough?

A.An excepted employee who does not perform work on a holiday must be placed in a

furlough status for the holiday and must be provided written notice of the agencys decision

to furlough in accordance with the guidance in section P. Procedures. This is because duringa lapse of appropriations all affected employees must be (1) at work performing excepted

activities or (2) furloughed. This applies with respect to any period of time that is part of an

affected employees regularly scheduled administrative workweek, including a holiday. (See

Sample Notice of Furlough During Holiday to Excepted Employee Due to a Lapse of

Appropriations.)

4. Will an excepted employee who does not work on a holiday that occurs during a

shutdown furlough be paid for the holiday?

A.No. An excepted employee who does not work on a holiday will be placed in a furloughstatus for the holiday and will not receive pay for a holiday that occurs during a shutdown

furlough unless authorized by subsequent legislation. (See Sample Notice of Furlough

During Holiday to Excepted Employee Due to a Lapse of Appropriations.)

5. Can an excepted employee voluntarily report to work on the holiday?

A.No. Each agency must determine which excepted activities must be performed on a

holiday, and which employees are needed to perform those functions. Employees who are not

otherwise needed to perform excepted functions on the holiday must be placed in furlough

status for that day.

6. Can excepted employees be required to perform work on a holiday that occurs

during a shutdown furlough?

A. Yes. Each agency is responsible for determining which excepted activities must be

performed on a holiday in order to carry out functions related to such excepted activities.

Failure to report to duty on a holiday is no different than failure to report to work on any

other day (see Question F.2).

7. What pay entitlements will accrue to an excepted employee who performs work on a

holiday during a shutdown furlough?

A. The Federal Government will be obligated to pay an excepted employee who performs

work on a holiday according to the normal rules governing pay for work on a holiday. For

example, under 5 U.S.C. 5546(b), a covered employee would receive his or her rate of basic

pay, plus holiday premium pay at a rate equal to the employees rate of basic pay. In

addition, if such an employee performs officially ordered or approved overtime work on a


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holiday (i.e., work in excess of his or her basic non-overtime work requirement for that day),

the employee would receive overtime pay (or compensatory time off) for that work. Of

course, an excepted employee cannot receive payment for working on a holiday until an

appropriations act or a continuing resolution is enacted. Please note, holiday premium pay

and overtime pay are not applicable to certain employees, such as heads of agencies and

members of the Senior Executive Service.

8. How do the in lieu of holiday rules apply during a shutdown furlough?

A. When a shutdown furlough is not in effect, all full-time employees, including those on

flexible or compressed work schedules, are entitled to an in lieu of holiday when a holiday

falls on a nonworkday. OPM guidance on in lieu of holidays can be found at

http://www.opm.gov/policy-data-oversight/pay-leave/pay-administration/fact-

sheets/holidays-work-schedules-and-pay/.

During a shutdown furlough, generally

The normal in lieu of holiday rules apply to employees exempt from furlough.

The in lieu of holiday rules do not apply to furloughed employees (i.e., employees do

not receive an in lieu of holiday if they are in a furlough status on a holiday).

When scheduling holidays for excepted employees, the normal in lieu of holiday

rules apply. However, as explained in Questions G.4., G.5., and G.6., otherwise excepted

employees must be furloughed on the in lieu of holidays unless they are working.

H. Benefits

1. Will an employee continue to be covered under the Federal Employees Health Benefits

(FEHB) program during a shutdown furlough if the agency is unable to make its

premium payments on time?

A.Yes. The employees FEHB coverage will continue even if an agency does not make the

premium payments on time. Since the employee will be in a non-pay status, the enrollee

share of the FEHB premium will accumulate and be withheld from pay upon return to pay

status.

2. What happens if an employee wants to terminate Federal Employees Health Benefits

(FEHB) coverage while in a nonpay status in order to avoid the expense?

A.Unlike other types of non-pay status, employees in a non-pay status due to a lapse of

appropriations (shutdown furlough) will not have the opportunity to terminate or cancel

FEHB coverage. The employee will remain covered; the enrollee share of the FEHB

premium will accumulate and be withheld from pay upon return to pay status.
http://www.opm.gov/policy-data-oversight/pay-leave/pay-administration/fact-sheets/holidays-work-schedules-and-pay/http://www.opm.gov/policy-data-oversight/pay-leave/pay-administration/fact-sheets/holidays-work-schedules-and-pay/http://www.opm.gov/policy-data-oversight/pay-leave/pay-administration/fact-sheets/holidays-work-schedules-and-pay/http://www.opm.gov/policy-data-oversight/pay-leave/pay-administration/fact-sheets/holidays-work-schedules-and-pay/http://www.opm.gov/policy-data-oversight/pay-leave/pay-administration/fact-sheets/holidays-work-schedules-and-pay/


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3. If an employee submitted a new application or a change to his/her health insurance

plan (e.g., because of a Qualifying Life Event) and the paperwork was not processed by

the agency because of a shutdown furlough, how would the employee seek services or

coverage?

A.New enrollments or changes in enrollment due to a Qualifying Life Event do not takeeffect until the employee has been back in pay status for any part of the prior pay period.

4. Would a lapse in appropriations alter the effective date of an FEHB Open Season

enrollment if an enrollment request was fully processed by an agency and submitted to

the health plan prior to the lapse?

A.No. The effective date would still be the first day of the first full pay period in January.

5. What happens if agency employees responsible for processing paper SF-2809 FEHB

Open Season enrollment requests are furloughed?

A.Agencies will have to determine whether those employees may continue to process the

enrollment requests if a lapse in appropriations occurs. If agencies conclude that they cannot,

pending enrollment requests will not be processed until those employees return to pay status.

6. What happens if an individual makes an FEHB Open Season enrollment change but the

agency did not process the request before the furlough?

A.The individual should continue to use the old health plan until he or she returns to pay

status and the enrollment in the new health plan is processed.

7. If an enrollee required healthcare after making an FEHB Open Season enrollment

change that was not processed before a furlough and received coverage under the old

health plan, will the new health plan be responsible for the coverage received once the

furlough is over?

A.Yes.

8. If a furlough delays processing of FEHB Open Season enrollment changes, will the

enrollment be retroactive?

A.Yes. Per FEHB regulations, all Open Season enrollments and enrollment changes are

effective on the first day of the first full pay period in January.


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9. If an individuals health plan is terminating participation in the FEHB Program at the

end of the current benefit year, and an Open Season enrollment change has not been

processed, what should the individual do in January?

A.If the individual needs services urgently, he or she should incur the expenses and file a

claim with the new plan once the enrollment change has been processed.

10. How will someone know whether his or her FEHB enrollment request was fully

processed and sent to the new health plan?

A. If the individual receives an ID card, the enrollment in the new plan is effective. If an ID

card is not received, the enrollment has not been processed.

11. How will someone know if an electronic FEHB Open Season enrollment change was

fully processed?

A. If an ID card is received, the enrollment in the new plan is effective. If an ID card is not

received, the enrollment has not yet been processed.

12. What happens to an individual not currently covered under the FEHB who elected to

enroll during Open Season if the enrollment has not been processed and will not be

processed until after the furlough? Does this individual still have coverage with the

elected plan? If so, when?

A. Yes. Such an individual would have coverage beginning on the first day of the first full

pay period in January. Expenses incurred will be reimbursed by the plan once the enrollment

has been processed. We suggest that such individuals ensure they use the plans providers to

get the maximum benefits. For fee-for-service plans, check the health plans website for a list

of in-network providers.

13. What happens to an employees Federal Employees Group Life Insurance (FEGLI)

Program coverage if furloughed?

A.Coverage continues for 12 consecutive months in a nonpay status without cost to the

employee or to the agency. Neither the employee nor the agency incurs a debt during this

period of nonpay.

14. What happens to an employees Flexible Spending Account (FSAFEDS) coverage if

furloughed?

A.Payroll deductions will cease for any employee that does not receive pay. The employee

remains enrolled in FSAFEDS, but eligible health care claims incurred during a non-pay

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status will not be reimbursed until the employee returns to a pay status and allotments are

successfully restarted. The remaining allotments are recalculated over the remaining pay

periods to match the participants election amount.

Eligible dependent care expenses incurred during a non-pay status may be reimbursed up to

whatever balance is in the employees dependent care accountas long as the expenseincurred during the non-pay status allows the employee (or spouse if married) to work, look

for work or attend school full-time.

15.Will the effective date of my FSAFEDS enrollment be affected?

A.No.

16.What happens to an employees Federal Long Term Care Insurance Program

(FLTCIP) coverage if furloughed?

A.Payroll deductions will cease for any employee that does not receive pay. Coverage will

continue so long as premiums are paid. If Long Term Care Partners does not receive payment

for three consecutive pay periods, they will begin to direct bill the enrollee. The enrollee

should pay premiums directly billed to him/her on a timely basis to ensure continuation of

coverage.

17.What happens to an employees Federal Employees Dental and Vision Insurance

Program (FEDVIP) coverage if furloughed?

A.Payroll deductions will cease for any employee that does not receive pay. BENEFEDSwill generate a bill to enrollees for premiums when no payment is received for two

consecutive pay periods. The enrollee should pay premiums directly billed to him/her on a

timely basis to ensure continuation of coverage.

18.Will the effective date of my FEDVIP Open Season enrollment be affected?

A.No.

19.What is the effect of a shutdown furlough on Thrift Savings Plan (TSP) contributions,

investments, and loans?

A.Agencies and employees should refer to theTSP websiteor contact their agency

representative for information. Agency representatives may contact the Federal Retirement

Thrift Investment Board at (202) 942-1450 for additional information.
https://www.tsp.gov/index.shtmlhttps://www.tsp.gov/index.shtmlhttps://www.tsp.gov/index.shtmlhttps://www.tsp.gov/index.shtml


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I. Employee Assistance

1. Are employees entitled to unemployment compensation while on furlough?

A.It is possible that furloughed employees may become eligible for unemployment

compensation. State unemployment compensation requirements differ. Some Statesrequire a 1-week waiting period before an individual qualifies for payments. In general,

the law of the State in which an employees last official duty station in Federal civilian

service was located will be the State law that determines eligibility for unemployment

insurance benefits. (See the Department of Labor website Unemployment Compensation

for Federal Employees at

http://workforcesecurity.doleta.gov/unemploy/unemcomp.asp.) Agencies or employees

should submit questions to the appropriate State (or District of Columbia) office. The

Department of Labors website provides links to individual State offices at

http://www.servicelocator.org/OWSLinks.asp.A list of Federal Identification Codes

(FIC) needed for unemployment compensation applications can be found here

http://www.dol.gov/dol/shutdown/FIC_chart.pdf.
http://workforcesecurity.doleta.gov/unemploy/unemcomp.asphttp://workforcesecurity.doleta.gov/unemploy/unemcomp.asphttp://www.servicelocator.org/OWSLinks.asphttp://www.servicelocator.org/OWSLinks.asphttp://www.dol.gov/dol/shutdown/FIC_chart.pdfhttp://www.dol.gov/dol/shutdown/FIC_chart.pdfhttp://www.dol.gov/dol/shutdown/FIC_chart.pdfhttp://www.servicelocator.org/OWSLinks.asphttp://workforcesecurity.doleta.gov/unemploy/unemcomp.asp


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2. Can I take a TSP loan while Im furloughed?

A.Agencies and employees should refer to theTSP websiteor contact their agency

representative for information. Agency representatives may contact the Federal Retirement

Thrift Investment Board at (202) 942-1450 for additional information.

3. What resources are available if a Federal employee needs financial assistance during a

government shutdown?

A.Some agency employee assistance programs (EAP) include financial consultation

services. In addition, employees may want to contact their financial institution, credit union

or learn about their options through the Thrift Savings Plan (www.tsp.gov).

4. How will Federal employees access Employee Assistance Program (EAP) services in the

event of a government shutdown?

A.EAP services can be helpful in providing confidential counseling and coaching with

experienced, licensed counselorsincluding legal and financial consultation. Federal

employees are advised to contact their agencys EAP office to determine whether services

will be available in the event of a lapse in appropriations. Many Federal agency EAPs are

serviced by Federal Occupational Health (FOH), a division of HHS. Employees who know

their agency uses FOH as a provider may contact their toll free EAP phone number

(800) 222-0364 (TTY (888) 262-7848) to find out how to access EAP services during a lapse

in appropriations.

J. Service Credit for Various Purposes

1. Is furlough or leave without pay (LWOP) considered a break in service?

A.No. Both mean the employee is in a nonpay, nonduty status for those days/hours.

However, extended furlough or LWOP may affect the calculation of creditable service for

certain purposes.

2. To what extent does nonpay status affect Federal employee benefits and programs?

A.The effects of a nonpay status (which includes furlough, leave without pay, absencewithout leave, and suspension) on Federal employee benefits and programs vary based on

current law and regulation. For additional information, see OPMs fact sheet on the Effect

of Extended Leave Without Pay (or Other Nonpay Status) on Federal Benefits and

Programs athttp://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-

sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-

benefits-and-programs/.
https://www.tsp.gov/index.shtmlhttps://www.tsp.gov/index.shtmlhttps://www.tsp.gov/index.shtmlhttp://www.tsp.gov/http://www.tsp.gov/http://www.tsp.gov/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.opm.gov/policy-data-oversight/pay-leave/leave-administration/fact-sheets/effect-of-extended-leave-without-pay-lwop-or-other-nonpay-status-on-federal-benefits-and-programs/http://www.tsp.gov/https://www.tsp.gov/index.shtml


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K. Federal Employees on Military Duty

1. Can employees who are taking military leave under 5 U.S.C. 6323 for days covered by a

furlough continue to do so during a shutdown furlough?

A.No. As with other types of paid leave, paid military leave must be canceled for dayscovered by the furlough.

For employees on active military duty, their status as Absent-Uniformed Service (formerly

Leave Without Pay-Uniformed Service (LWOP-US)) is unchanged by periods of intermittent

annual or military leave, per the guidance in theFrequently Asked Questions on Military

Leave.

2. Will employees continue to receive a reservist differential payment (5 U.S.C. 5538)

while on active duty when they are furloughed from their Federal civilian employment?

A.No. The reservist differential payments are intended to make up the difference between

the employees customary civil service compensation and his or her military pay, and they

are made from the funds of the employing agency appropriated for the payment of

employees salaries. Since funds are not available for employees salaries during a furlough,

no funds may be obligated towards any type of payment for reservist differential. However,

if subsequent legislation is passed reimbursing employees their civilian pay for the period of

the furlough, it will be necessary for the agency to calculate any reservist differential

payments that may be owed.

3. Will there be an impact on an employees General Schedule or Federal Wage System

within-grade increase (WGI) waiting period due to an employee being in an Absent-Uniformed Service status during a shutdown furlough?

A.No. The furlough has no impact on an employees General Schedule or Federal Wage

System WGI waiting period if the employee is in an Absent-Uniformed Service status. An

absence for the purpose of engaging in military service is creditable service in the

computation of waiting periods for successive WGIs when the employee returns to a pay

status through the exercise of a restoration right provided by law, Executive order, or

regulation. See 5 CFR 531.406(c)(1)(i) and 5 CFR 532.417(c)(4).
http://www.opm.gov/faqs/topic/payleave/index.aspx?cid=f24794b1-dc27-41d8-b4e0-255cefc2c817http://www.opm.gov/faqs/topic/payleave/index.aspx?cid=f24794b1-dc27-41d8-b4e0-255cefc2c817http://www.opm.gov/faqs/topic/payleave/index.aspx?cid=f24794b1-dc27-41d8-b4e0-255cefc2c817http://www.opm.gov/faqs/topic/payleave/index.aspx?cid=f24794b1-dc27-41d8-b4e0-255cefc2c817http://www.opm.gov/faqs/topic/payleave/index.aspx?cid=f24794b1-dc27-41d8-b4e0-255cefc2c817http://www.opm.gov/faqs/topic/payleave/index.aspx?cid=f24794b1-dc27-41d8-b4e0-255cefc2c817


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L. Retirement

1. If a shutdown furlough occurs during the 3 years of service prior to retirement, what

effect will time in a furlough status have on an employees high-3 average pay?

A.Generally there will be no effect on the high-3 average pay unless the furlough causes theemployee to be in a nonpay status for more than 6 months during the calendar year.

2. Are the retirement rules concerning the effect of a shutdown furlough the same for

employees under the Civil Service Retirement System (CSRS) and the Federal

Employees Retirement System (FERS)?

A.Yes.

3. What will happen to employees who would have retired during a shutdown furlough?

A.For employees who, on or before the requested retirement date, submitted some notice of

their desire to retire, agencies should, when the lapse in appropriations ends, make the

retirement effective as of the date requested. The retirement request may be informal (such as

a letter requesting retirement), and can be either mailed or personally submitted to the

agency. Any additional required paper work, such as the formal retirement application form,

may be completed when the agency reopens. No time spent by the retiree in such actions

after the effective date of the retirement may be considered as duty time, since the individual

would no longer be an employee of the agency.

4.

If an employee is scheduled to retire before the end of the leave year with an annualleave balance of over the maximum leave ceiling (e.g., 240, 360, or 720 hours, as

applicable) and the furlough prevents the employees retirement from getting processed

until January, does the employee lose his or her annual leave above the maximum leave

ceiling?

A.No. The employees retirement would be retroactively applied to a date prior to the end of

the leave year, and the employee would receive the full amount of accumulated and accrued

annual leave in a lump-sum payment.

M. Retirement Services: Government Closure

1. Im a Federal retiree. Will I still receive my monthly annuity payment during a

government shutdown?

A.Yes. Federal retirees under the CSRS and FERS retirement systems will still receive their

scheduled annuity payments on the first business day of the month.


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2. How can I make updates or changes to my retirement account?

A.OPMs Retirement Services is available to assist you with your retirement account. As

always, you can make many of these changes online throughServices Onlineor by calling

Retirement Services at (888) 767-6738. Due to the volume of calls, we recommend that you

first use the online services site to make immediate updates and changes.

3. How do I report the death of a family member during a government shutdown?

A.You can refer to our website www.opm.gov/retire for information on reporting the death

of a current retiree and applying for any benefits, or by calling us directly at (888) 767-6738.

If the family member was a Federal employee at the time of death, survivors must contact the

agency for which the deceased worked. If the employing agency is closed, you may need to

wait until after a government furlough to begin the process.

4.

I recently retired from Federal service. Will my retirement application be delayed by agovernment shutdown?

A.If your agency or payroll center submitted your retirement application to OPM, you will

begin receiving interim annuity payments while OPM Retirement Specialists process your

application. Because OPM Retirement Services is funded by the trust fund it manages, OPM

Retirement Services employees will still be working normal operating hours during a

government furlough.

If your agency or payroll center has not yet submitted your retirement application or the

application is incomplete, you will likely experience some delay as OPM must wait on otheragencies to submit all of the information needed to process your retirement. Some of these

agencies may not be operating during a government furlough.

5. I applied for disability benefits. Will my application still be processed?

A.Disability, Reconsideration, and Appeals employees at OPM will continue working on

your case. If the application requires additional information from other agencies, expect

delays during a government furlough.

6.

Can I submit a Court Ordered Benefit during a government furlough?

A.Yes. OPM employees will continue working to process court ordered benefits. If the

application requires additional information from other agencies, expect delays during a

government furlough.
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N. Payments upon Separation from Federal Service

1. If there is a shutdown furlough, how does this impact a separating employees lump-

sum payment for their unused annual leave?

A.In the event of a shutdown furlough, any payments incurred by the agency for anemployees lump-sum payment will be delayed until funds are available.

2. How are separated employees entitlements to severance pay affected by a shutdown

furlough?

A.Funds for severance pay are obligated on a day-to-day basis as the recipient accrues

continuing entitlement to severance pay by not being reemployed by the Government of the

United States. (Severance pay is suspended or terminated when the individual is reemployed

by the Federal Government.) Severance pay is paid at the same pay period intervals as if the

recipient were still employed. Any severance payment (on a payroll payday) is linked to thecorresponding pay period during which the recipient accrued continuing entitlement to

severance pay. If the recipient is reemployed by the Federal Government during a pay period,

he or she is entitled to a prorated severance payment covering the days in the period prior to

reemployment (e.g., 2/5 of one weeks pay if the recipient was reemployed on the third

workday of the pay period).

Thus, in the case of a shutdown furlough, accrued but unpaid severance pay represents an

obligation to be paid from funds available before the lapse in appropriations occurred. Just as

payroll checks for work performed prior to a lapse in appropriations can be processed as part

of the orderly suspension of nonexcepted activities, severance pay checks covering days

before the lapse may also be processed.

No funds may be authorized for severance payments for days during the lapse until an

appropriation is enacted.

Additional information on severance pay (including eligibility criteria and payment

formulas) can be found athttp://www.opm.gov/policy-data-oversight/pay-leave/pay-

administration/fact-sheets/severance-pay/.

O. Benefits under the Federal Employees Compensation Act (FECA)

1. How is Continuation of Pay (COP) under the Federal Employees Compensation Act

affected by a Government shutdown?

A.The Department of Labors Office of Workers Compensation Programs which

administers the Federal Employees Compensation Act (FECA) advises that, in the event of a

Government shutdown, an employee who is disabled due to his or her injury is to be
http://www.opm.gov/policy-data-oversight/pay-leave/pay-administration/fact-sheets/severance-pay/http://www.opm.gov/policy-data-oversight/pay-leave/pay-administration/fact-sheets/severance-pay/http://www.opm.gov/policy-data-oversight/pay-leave/pay-administration/fact-sheets/severance-pay/http://www.opm.gov/policy-data-oversight/pay-leave/pay-administration/fact-sheets/severance-pay/http://www.opm.gov/policy-data-oversight/pay-leave/pay-administration/fact-sheets/severance-pay/http://www.opm.gov/policy-data-oversight/pay-leave/pay-administration/fact-sheets/severance-pay/


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maintained in COP status during the shutdown unless the agency does not have monies

available to pay the salary of that employee. If the agency does not have monies to pay salary

during the shutdown but the agencys budget is subsequently restored in such a way as to

allow for retroactive payment of salary during the shutdown period, the employee should

receive COP for any period of disability that occurs within the shutdown. In the event an

agency is legally unable to pay COP to an employee because of a lapse in appropriations, theemployee may file a claim for regular FECA wage loss compensation for that period.

2. Are employees who are injured while on furlough or LWOP eligible to receive workers

compensation?

A.No. Workers compensation is paid to employees only if they are injured while

performing their duties. Employees on furlough or LWOP are not in a duty status for this

purpose. An employee who is receiving workers compensation payments will continue to

receive workers compensation payments during a furlough and will continue to be charged

LWOP.

Note to Section O:Any additional questions regarding Federal workers compensation benefits

should be directed to the Division of Federal Employees Compensation, Office of Workers

Compensation Programs, U.S. Department of Labor. Seehttp://www.dol.gov/owcp/dfec.

P. Procedures

1. How is a shutdown furlough documented?

A.Unlike an administrative furlough, agencies should notprepare an SF-50, Notification ofPersonnel Action (or a List Form of Notice for a group of employees who are to be

furloughed on the same day or days each pay period) at the outset of a shutdown furlough.

Instead, employees will receive a shutdown furlough notice citing the reasons for the

furlough because the ultimate duration of a shutdown furlough is not known by agencies at

the outset of the furlough. Once an appropriation has been signed by the President, agencies

will be instructed on the appropriateness of preparing documentation consistent with

Chapters 15 and 16 ofThe Guide to Processing Personnel Actions.

1a. In addition to a shutdown furlough notice, what other documentation should be

provided to furloughed employees?

A. Agencies should provide each furloughed employee a Form SF-8 (Notice to Federal

Employee about Unemployment Insurance). This form provides information on filing

unemployment compensation claims, including the agencys mailing address and Federal

identification code. Employees may be asked to provide or refer to this form when they file a

claim with their State unemployment insurance agency.
http://www.dol.gov/owcp/dfechttp://www.dol.gov/owcp/dfechttp://www.dol.gov/owcp/dfechttps://www.opm.gov/policy-data-oversight/data-analysis-documentation/personnel-documentation#url=Processing-Personnel-Actionshttps://www.opm.gov/policy-data-oversight/data-analysis-documentation/personnel-documentation#url=Processing-Personnel-Actionshttps://www.opm.gov/policy-data-oversight/data-analysis-documentation/personnel-documentation#url=Processing-Personnel-Actionshttps://www.opm.gov/policy-data-oversight/data-analysis-documentation/personnel-documentation#url=Processing-Personnel-Actionshttp://www.dol.gov/owcp/dfec


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2. In the event of a shutdown furlough, can an employee be furloughed without first

receiving a written notice of decision to furlough?

A. While an employee must ultimately receive a written notice of decision to furlough, it is

not required that such written notice be given prior to effecting the emergency furlough or in

person, although it is recommended. Advance written notice (including through email) ispreferable, but when prior written notice is not feasible, then any reasonable notice (e.g.,

telephonic, oral, personal email, or by mail promptly after the furlough) is permissible when

the furlough decision is made. However, a written notice of decision to furlough must be

provided as soon as possible after the furlough begins. See Question P.2a. for providing

electronic notice of a furlough action.

2a. May employees conduct orderly shutdown activities remotely? May an agency provide

an employee electronic notice of a furlough action?

A.In many cases, orderly shutdown activities (including the distribution of furlough noticesand, where necessary, the adjustment of voicemail and email messages to reflect the agencys

operating status) may be conducted remotely. Agencies that issue furlough notices should

consult with their respective General Counsels to ensure each step of the process is

consistent with legal requirements. If the nature of an employees shutdown activities are de

minimis (i.e., can be completed in approximately 15 minutes) the agency does not need a

telework agreement regarding such remote work. If an agency determines it will

electronically notify affected employees of a furlough action, OPM recommends that the

agency include each employees name, address, and/or e-mail address on the decision

notification so that it is clear that an employee is receiving personal notification. Agencies

should also consider including in the body of the electronic correspondence, the requirement

that the employee provide an email acknowledgement of receipt. If an agency does notreceive a requested acknowledgement of receipt of an e-mail notification, it should consider

delivering a paper copy of the decision notification to the employee at his or her home

address by registered mail with a return receipt requested. Similarly, agencies must deliver

hard copy furlough notices to those employees without agency email access.

Additionally, OPM recommends that agencies consider informing employees as soon as

practicable whether or not an employee is subject to the furlough and provide a contact

person who can answer questions related to this issue.

Finally, agencies with bargaining unit employees are reminded that they must provide notice

and opportunity to bargain over negotiable procedures and appropriate arrangements to any

unions representing their employees.

2b. What are an agencys regulatory obligations in providing an appellant the Merit

Systems Protection Board (MSPB) appeal information in the adverse action furlough

decision notice?


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A. As summarized in the April 11, 2013, Federal Register

(http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08503.pdf)an agency must satisfy

the obligation to provide a copy of the MSPB appeal form when issuing a decision notice.

Providing this MSPB appeal hyperlink form electronically (https://e-appeal.mspb.gov/)will

typically satisfy the requirement of ensuring that employees subject to a decision appealable

to MSPB will have effective access to the MSPB regulations and appeal form. However, ifthe employee informs the agency that he or she lacks Internet access, the agency is required

to take steps to ensure that the employee has actual access to the MSPBs regulations and the

appeal form, including providing the employee with a hard copy of these documents upon the

employees request. See Sample Notice for sample decision notice language.

2c. What is the treatment of employees who are serving, or about to serve, a suspension

during a lapse in appropriations?

If an employee is serving a suspension or scheduled to serve a suspension when a shutdown

furlough becomes effective, agencies have the option of holding the suspension in abeyance

during the period of shutdown, or delaying the commencement of suspension until after the

shutdown ends. During the shutdown, such employees should be properly designated by the

agency as exempt, excepted, or non-excepted and treated accordingly. If the employee is

subject to furlough, the employee should receive the appropriate shutdown adverse action

furlough notice.

2d. What is the treatment of employees who are in AWOL status at the beginning of the

lapse in appropriations?

A. If an employee is AWOL at the beginning of the lapse in appropriations, and the

employee is otherwise subject to furlough during the shutdown, he or she should be provideda furlough notice and placed in a temporary non-duty, non-pay status because of the lack of

appropriated funds. Thus, the employee cannot be AWOL during this time, despite any belief

the employee would not have otherwise reported to work. The employee should be coded the

same as all other employees who are furloughed during this time. If the employee fails to

report to work following the end of the shutdown, he or she will be considered AWOL, and

subject to any consequences that may follow from being AWOL after the end of the

shutdown. Conversely, if the employee is exceptedfrom furlough, ordered to report to work

during the shutdown yet failed to do so, he or she would be considered AWOL during this

time, and subject to any consequences that may follow from being AWOL.

3. What information should be included in the notice of decision of a shutdown furlough

when no advance notice is issued?

A. The notice must specify the reason for the furlough and state that the usual 30 calendar

days advance notice was not possible due to the emergency requiring curtailment of agency

operations. If some employees in a competitive level will not be furloughed because they are

performing one of the excepted activities defined by OMB standards, OPM recommends a
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statement such as the following:

If employees are being retained in your competitive level, they are required for orderly

suspension of agency operations, or they are performing one of the excepted activities

defined by law.

For career members (except reemployed annuitants) of the Senior Executive Service (SES),

the written notice must provide the reason for the furlough; the expected duration of the

furlough and the effective dates; the basis for selecting the appointee when some but not all

SES appointees in a given organizational unit are being furloughed; the location where the

appointee may inspect the regulations and records pertinent to the action; and, if the notice

period is less than 30 calendar days, the reason for the shortened period. For an SES

probationer, the notice should also explain the effect (if any) on the duration of the

probationary period. See Question P.6a. below regarding noncareer, limited term, or limited

emergency appointees and reemployed annuitants holding career appointments.

All notices must include a statement of applicable appeal and grievance rights. An agency

must satisfy the obligation to provide a copy of the MSPB appeal form when issuing a

decision notice. Providing the MSPB appeal hyperlink form electronically (https://e-

appeal.mspb.gov/)will typically satisfy the requirement of ensuring that employees subject

to a decision appealable to MSPB will have effective access to the MSPB regulations and

appeal form. However, if the employee informs the agency that he or she lacks Internet

access, the agency is required to take steps to ensure that the employee has actual access to

the MSPBs regulations and the appeal form including providing the employee with a hard

copy of these documents upon the employees request.

See Sample Shutdown Furlough Decision Notice Due to Lapse of Appropriations. Thissample can be used for SES and non-SES employees.

3a. How should the decision letter for a shutdown furlough be framed if the specific

number of furlough days is unknown?

A. While it is desirable when possible to inform the affected employee of a specific number

of furlough days in the decision letter, the agency needs only to set out the maximum time

that may be involved, so employees have as much information as possible.

3b. What procedural rights apply to employees who are veterans covered under 5 U.S.C.chapter 75 and 5 CFR part 752 for a shutdown furlough?

A. For a shutdown furlough of a covered veteran employee, the law (5 U.S.C. 7513) gives a

covered veteran employee the same procedural rights as other covered employees.

Employees should consult with their agency Human Resources office to determine whether

guidance for shutdown furloughs september 2015

Documents